-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HoiSPAi/YHmEaFGoPOPlKt+KBH1/5KDdeX124xM6ahJ5yc0l7gJ7tMzzbTG4NeN2 bTC3l44ZrukwsWEpD8gC4A== 0000049071-07-000104.txt : 20070920 0000049071-07-000104.hdr.sgml : 20070920 20070920100444 ACCESSION NUMBER: 0000049071-07-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070918 FILED AS OF DATE: 20070920 DATE AS OF CHANGE: 20070920 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HATHCOCK BONNIE C CENTRAL INDEX KEY: 0001085718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071126141 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-09-18 0000049071 HUMANA INC HUM 0001085718 HATHCOCK BONNIE C HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP & Chief Human Res. Off Humana Common 2007-09-18 4 S 0 500 66.17 D 41560 D Humana Common 2007-09-18 4 S 0 200 66.18 D 41360 D Humana Common 2007-09-18 4 S 0 200 66.19 D 41160 D Humana Common 2007-09-18 4 S 0 100 66.20 D 41060 D Humana Common 2007-09-18 4 S 0 900 66.21 D 40160 D Humana Common 2007-09-18 4 S 0 600 66.25 D 39560 D Humana Common 2007-09-18 4 S 0 400 66.26 D 39160 D Humana Common 2007-09-18 4 S 0 400 66.27 D 38760 D Humana Common 2007-09-18 4 S 0 300 66.28 D 38460 D Humana Common 2007-09-18 4 S 0 100 66.30 D 38360 D Humana Common 2007-09-18 4 S 0 400 66.32 D 37960 D Humana Common 2007-09-18 4 S 0 900 66.34 D 37060 D Humana Common 2007-09-18 4 S 0 100 66.36 D 36960 D Humana Common 2007-09-18 4 S 0 600 66.39 D 36360 D Humana Common 2007-09-18 4 S 0 500 66.40 D 35860 D Humana Common 2007-09-18 4 S 0 600 66.41 D 35260 D Humana Common 2007-09-18 4 S 0 100 66.42 D 35160 D Humana Common 2007-09-18 4 S 0 100 66.43 D 35060 D Humana Common 2007-09-18 4 S 0 300 66.44 D 34760 D Humana Common 2007-09-18 4 S 0 800 66.45 D 33960 D Humana Common 2007-09-18 4 S 0 300 66.46 D 33660 D Humana Common 2007-09-18 4 S 0 500 66.47 D 33160 D Humana Common 2007-09-18 4 S 0 899 66.48 D 32261 D Humana Common 2007-09-18 4 S 0 100 66.49 D 32161 D Humana Common 2007-09-18 4 S 0 600 66.50 D 31561 D Humana Common 2007-09-18 4 S 0 100 66.51 D 31461 D Humana Common 2007-09-18 4 S 0 200 66.52 D 31261 D Humana Common 1946 I See Footnote Options 32.70 2012-02-24 Humana Common 25000 25000 D Options 12.995 2012-03-13 Humana Common 5195 5195 D Options 21.275 2014-02-24 Humana Common 4700 4700 D Options 53.96 2013-02-23 Humana Common 31770 31770 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Phantom Stock Units Humana Common 9 9 I See Footnote Stock units held for the benefit of reporting person as of August 31, 2007 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c). Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting in three increments from 3/13/03 to 3/13/05, and ISO's vesting on 3/13/05. Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ options vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 2/24/07. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting on 2/24/08. Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09. Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10. Phantom Stock Units held for the benefit of reporting person as of August 31, 2007, based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d). Bonita C. Hathcock 2007-09-19 -----END PRIVACY-ENHANCED MESSAGE-----